Missouri Securities Litigation Attorneys
Securities dealers and brokerage firms are held to a high standard of fiduciary duty for the benefit and protection of their clients. Even in cases where no actual fraud has been committed, a securities dealer or brokerage firm may be held financially liable in a civil action for failure to properly protect a client from unnecessary financial risk.
The civil litigation attorneys at Wyrsch Hobbs & Mirakian, P.C. have assisted many securities dealers and brokerage firms in securities litigation. Our lawyers handle civil litigation and matters before state and federal regulatory agencies. Some of the securities matters we handle include:
- Churning: allegations of excessive trading that is motivated solely by a desire for commission fees as opposed to the best interests of a client.
- Unsuitability: recommending investments that are not suitable to the age, risk tolerance or financial interests of a client.
- Misrepresentation: providing false, misleading or incomplete information about the risks of an investment, broker fees, brokerage firm performance or other vital information.
- Overconcentration: failure to diversify a client's investments; exposing a client to undue risk of financial loss by concentrating their funds in one fund or very few funds.
- Cease and desist orders: Notice from the government to cease and desist in further unlawful practices (e.g. unfair practices).
- Other securities matters: shareholder suits, matters before federal regulatory agencies, federal securities law violations and all breach of fiduciary duty claims.
Whether your case is in before an arbitrator, judge, or regulatory agency, we can provide the quality legal representation you require. To speak with a securities litigation attorney at our firm, contact our law office in Kansas City, Missouri.
